Stories tagged: financial advisers
Tue., June 7, 2016, 11:08 a.m.
Adviser’s serial firings show ‘big problem’ at brokerages, study finds
A smooth-talking securities salesman affiliated with 11 different investment firms in 15 years, getting booted from five of them and resigning from another amid customer complaints and rules infractions has …
Sun., March 6, 2011
Library trustees seek exemption from SEC requirement
As part of its plan to prevent another economic meltdown, the federal government is cracking down on library trustees. Spokane County Library District trustees recently joined library boards around the …